- Coinbase (Tallahassee, FL)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment with high… more
- JPMorgan Chase (Tampa, FL)
- …solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliatechannels. + Proactively contact ... broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities, and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …general commercial agreements, including those critical to the operation of a broker - dealer , registered investment adviser, and a bank holding company. * ... with particular focus on contracts required for the operation of a broker - dealer , registered investment adviser and bank holding company. * Developing, preparing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the department for years to come. Understanding of the regulatory agencies that oversee Broker - Dealer and RIA firms will be essential in understanding how the ... Custody Services Division (RCS) serves as a clearing firm for independent broker -dealers and as a custodian for independent Registered Investment Advisor firms… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... & Custody Services Division (RCS) serves as a clearing firm for independent broker dealers and as a custodian for independent Registered Investment Advisor firms… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the department for years to come. Understanding of the regulatory agencies that oversee Broker - Dealer and RIA firms will be essential in understanding how the ... Custody Services Division (RCS) serves as a clearing firm for independent broker -dealers and as a custodian for independent Registered Investment Advisor firms… more
- Guardian Life (Tallahassee, FL)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120… more
- Santander US (Miami, FL)
- …will be responsible for the execution of day-to-day controls related to the Broker Dealer . This includes ensuring high service quality, regulatory compliance, ... Bachelor's Degree or equivalent work experience 5-10+ Years of relevant experience; Broker Dealer experience. **Certifications:** * Other Risk Certification -… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- MyFlorida (Tampa, FL)
- …management, compliance, operations, or the front office of an investment adviser or broker - dealer . + Individuals who hold or have held securities industry ... OF DUTIES: Performs complex examinations and investigations of registered broker -dealers, investment advisers and associated persons to enforce Chapter 517,… more